Series 11 - Assistant Representative / Order Processor
The Series 11 examination is required for individuals who wish to accept unsolicited customer orders. These persons typically assist registered representatives (Series 7 or Series 6) in their day-to-day functions. This license is only accepted by FINRA/NASD. FINRA/NYSE member firms must have their sales assistants qualified by passing the Series 7 examination.
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Available Materials:
- Self Study Book
- Exam Databank (On-Line, Web-Based or CD-ROM versions)
- Bundle (includes Book & Exam Databank)
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Study program for the Series 11 examination covers the following subjects:
Types of Securities
Markets / Order Processing
Customer Accounts
Regulations
Eight simulated Final Examinations with detailed explanations complete the program.
(over 400 pages, with over 600 simulated examination questions with detailed explanations)
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Designed to complement the Self Study Books, the Series 11 Exam Databank provides a convenient and effective method of testing a student's overall comprehension of the material. This program contains 300 Final Exam questions with detailed answers.
The Series 11 Exam Databank is available in the following versions:
On-line - can be downloaded on up to 3 PC's (not apple/mac compatable)
Web-Based - direct sign on into website from any device, is apple/mac compatable.
CD-Rom - System requirements:
- 486
- 3 MB of hard disk space
- Windows 95, 98, Me, NT, 2000 or XP
- 16 MB ram
- color monitor
- mouse
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Includes:
Self Study Books
Series 11 Exam Databank